James Allan, financial advisor Appleton WI
93 score

James Allan

CRD Number: 1189422
Current Firm: Asc Wealth & Retirement Advisors LLC

James Allan (CRD# 1189422) is an Investment Advisor Representative working at Asc Wealth & Retirement Advisors LLC in Appleton, WI and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Asc Wealth & Retirement Advisors LLC Appleton, WI Apr 2015 - Current 1
Verus Investment Advisory Group Appleton, WI Apr 2009 - Jun 2015 6
Purshe Kaplan Sterling Investments Albany, NY Apr 2009 - Jul 2010 1
Sii Investments, Inc. Appleton, WI May 1995 - Apr 2009 13
Allan, Haughner & Hunt Inc. Appleton, WI May 1986 - Apr 2009 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1983
S65 NASAA Investment Advisors Law Examination Sep 1999
Contact Info for James R. Allan
Phone Number: 920-735-9800
Registered State(s):
  • TX
  • WI
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
Types of Clients
Registered States


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This advisor has a clean track record with regulators.

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